Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
The Political Realities of Broker Reregulation and the Fiduciary Standard
By Bob ClarkOne likelihood on the fiduciary issue: another round of SEC studies, industry debate and probably congressional hearings lasting months or even years, says Michael Koffler of Sutherland Asbill & Brennan.
February 20, 2011
PRODUCER'S CORNERWhen the Securities and Exchange Commission issued in January a study recommending a single fiduciary standard for broker-dealers and investment advisors, one might easily have surmised the SEC was prepared for the next step
February 18, 2011
Rep. Steve Garrett Re-Introduces Bill to Protect Madoff InvestorsRep. Scott Garrett, R.N.J., chairman of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises reintroduced on Feb. 17 legislation, H.R. 757, to protect investors defrauded by the Bernie Madoff Ponzi scheme.
February 18, 2011
Video: Fiduciary Duty, Separation of Sales and Advice, and RIA OversightTom Bradley, president of TD Ameritrade Institutional, discusses with AdvisorOne’s Kate McBride why it’s important to separate sales from advice and what his RIA clients say about who should regulate them.
February 17, 2011
FINRA Fines Units for Privacy ViolationThe Financial Industry Regulatory Authority has imposed fines on two insurer affiliates in connection with allegations that they failed to protect customer information.
February 17, 2011
FINRA Fines Units for Privacy ViolationThe Financial Industry Regulatory Authority has imposed fines on two insurer affiliates in connection with allegations that they failed to protect customer information.
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.